Our attorneys have broad-based experience in the broker-dealer, regulatory, and advisory areas. Barton clients benefit from our ability to draw upon the expertise of our attorneys in other practice areas to provide a comprehensive blend of backgrounds and supply a full complement of legal services to our securities clients.

The securities industry is highly regulated and it is relatively easy for a securities firm and/or its employees to inadvertently fail to observe all of the rules and regulations. Moreover, regulators are under increasing pressure to extract heavy penalties, most often in the form of a monetary fine, for even the slightest infractions by a securities firm and/or its employees. The attorneys in Barton’s Securities Regulatory Group realize that individuals employed in the securities industry want to focus on the business at hand and not waste precious resources dealing with extraneous regulatory matters. We counsel our clients so that interactions with regulators are both minimal and trouble-free when they do occur.

The Securities Regulatory Group is called upon to advise clients on matters that are directly related to their securities activities, including:

Formation and Capital Structure

Membership Applications

Registration Issues

Floor Trading Violations

Examinations, Investigations, and Enforcement Proceedings

Clients also request the Securities Regulatory Group to provide counsel in many of the following areas: